0000921895-20-002594.txt : 20201013 0000921895-20-002594.hdr.sgml : 20201013 20201013191349 ACCESSION NUMBER: 0000921895-20-002594 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201013 DATE AS OF CHANGE: 20201013 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rudolph Barry CENTRAL INDEX KEY: 0001543471 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23970 FILM NUMBER: 201237765 MAIL ADDRESS: STREET 1: 1351 S SUNSET STREET CITY: LONGMONT STATE: CO ZIP: 80501 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FALCONSTOR SOFTWARE INC CENTRAL INDEX KEY: 0000922521 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770216135 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 125 BAYLIS ROAD CITY: MELVILLE STATE: NY ZIP: 11747 BUSINESS PHONE: 631 777 5188 MAIL ADDRESS: STREET 1: 125 BAYLIS ROAD CITY: MELVILLE STATE: NY ZIP: 11747 FORMER COMPANY: FORMER CONFORMED NAME: NETWORK PERIPHERALS INC DATE OF NAME CHANGE: 19940502 4 1 form404637006rud_10132020.xml OWNERSHIP DOCUMENT X0306 4 2020-09-30 0 0000922521 FALCONSTOR SOFTWARE INC FALC 0001543471 Rudolph Barry C/O FALCONSTOR SOFTWARE, INC. 701 BRAZOS STREET, SUITE 400 AUSTIN TX 78701 1 0 0 0 Common Stock 2020-09-30 4 A 0 73600 0 A 117758 D The restricted shares vest as follows: 2.5% of the shares shall vest on the first anniversary of the grant date of September 30, 2020 (the "Grant Date"); 2.5% of the shares shall vest on the second anniversary of the Grant Date; 2.5% of the shares shall vest on the third anniversary of the Grant Date; 2.5% of the shares will vest on the fourth anniversary of the Grant Date; 45% of the shares shall vest upon preferred investors receiving cash proceeds in return on their invested capital in the Issuer; and 45% of the shares shall vest upon a change of control of the Issuer. Amount adjusted to reflect 100-for-1 reverse stock split effected by the Issuer in August 2019 as well as certain other adjustments. /s/ Barry Rudolph 2020-10-12